Topic
sec enforcement
256 published works
The D&O Diary
SEC Moves on Admissions and Compensation Clawbacks Underscore Tougher Enforcement Approach
The standard view of the Biden Administration SEC under the leadership of Gary Gensler is that the agency will take a more active enforcement approach than was the case during…
SEC Actions
Avoiding that Subpoena: Large Trends; Mini-Trends
Tracking the key areas of concern to SEC enforcement can be beneficial for issuers, investment advisers and others that may be subject to scrutiny by the Commission. For example, identifying…
SEC Actions
SEC Enforcement: A Review of 2Q21 (Part II)
This is the second part of a two part series reviewing the results of the Commission’s enforcement program for the first two quarters of 2021. The first part is available…
SEC Actions
SEC Enforcement: A Review of 2Q21 (Part I)
This is the first part of a two part series reviewing the results of the Commission’s enforcement program for the first two quarters of 2021. The second part of this…
SEC Actions
SEC Enforcement: A Review of 1Q21 — Part III, Conclusion
This is the final segment of a three part series reviewing and analyzing the actions brought by SEC enforcement during the first quarter of 2021. Part 1, which analyzed the…
SEC Actions
SEC Enforcement: A Review of 1Q21 — Part II, A Diverse Array of Cases
This is the second part of a three part series reviewing and analyzing the cases brought by SEC enforcement during the first quarter of 2021. Part 1, which analyzed the…
SEC Actions
SEC Enforcement: A Review of 1Q21 — Part I
Introduction The theme for the first quarter of 2021 might be “Acting.” With the change in administration looming, Chairman Clayton resigned at the end of 2020. Prior to the end…
SEC Actions
This Week In Securities Litigation (Week of May 3, 2021)
Newly installed Enforcement Director Alex Oh resigned this week. The SEC press release stated that the resignation was prompted by personal reasons. Media reports suggest that Ms. Oh resigned in…
The D&O Diary
Accounting and Auditing Enforcement Actions Down in 2020 While Total Settlements Increased
The number of SEC and PCAOB accounting and auditing enforcement actions decreased in 2020 relative to 2019, but monetary settlements increased year-over year, according to a recent report from Cornerstone…
Corporate & Financial Weekly Digest
Alex Oh Named SEC Director of Enforcement
By Susan Light, Elise W. Michael
On April 22, the Securities and Exchange Commission announced the appointment of Alex Oh as Director of the Division of Enforcement. Earlier in her career, Oh was an Assistant US…